The Asset Management Agreement serves as the primary contractual document for establishing and governing the relationship between professional asset managers and their clients in the Philippines. This agreement is essential when an individual, corporation, or institution wishes to delegate the management of their investment portfolio to a professional asset management firm. It must comply with Philippine regulatory requirements, including those set forth by the Securities and Exchange Commission and Bangko Sentral ng Pilipinas. The agreement covers crucial aspects such as investment mandate, risk parameters, fees, reporting requirements, and fiduciary responsibilities. It's particularly important in ensuring clear accountability, defining investment objectives, and establishing risk management protocols while maintaining compliance with local securities laws and financial regulations.
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1. Parties: Identifies and provides details of the asset manager and the client
2. Background: Establishes the context of the agreement, including the asset manager's qualifications and client's intention to engage their services
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the asset manager and scope of their authority
5. Services: Detailed description of asset management services to be provided
6. Investment Objectives and Strategy: Outlines agreed investment objectives, strategy, and any restrictions
7. Fees and Expenses: Details of management fees, performance fees, and other charges
8. Representations and Warranties: Standard representations and warranties from both parties
9. Compliance and Reporting: Obligations regarding regulatory compliance, reporting requirements, and documentation
10. Risk Disclosure: Required risk warnings and acknowledgments
11. Confidentiality: Provisions for protecting confidential information
12. Term and Termination: Duration of agreement and termination provisions
13. Liability and Indemnification: Scope of liability and indemnification obligations
14. Force Majeure: Provisions for unforeseen circumstances
15. Governing Law and Jurisdiction: Specifies Philippine law as governing law and jurisdiction for disputes
16. Notices: Process for formal communications between parties
17. General Provisions: Standard boilerplate clauses including severability, entire agreement, etc.
1. Custodian Arrangements: Required when a third-party custodian is involved in holding assets
2. Foreign Investment Provisions: Needed when portfolio includes foreign investments
3. Electronic Trading Authorization: Required for agreements involving online trading platforms
4. Joint Account Provisions: Necessary when the client account has multiple holders
5. Proxy Voting: Include when the asset manager will handle proxy voting rights
6. Performance Guarantees: Optional provisions for any guaranteed returns (if permitted by regulations)
7. Sub-Advisory Arrangements: Required when other investment advisors will be involved
8. Special Investment Restrictions: Include when client has specific investment restrictions beyond standard parameters
1. Schedule A - Investment Guidelines: Detailed investment parameters, restrictions, and allowable instruments
2. Schedule B - Fee Structure: Comprehensive breakdown of all fees, charges, and calculation methods
3. Schedule C - Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Schedule D - Reporting Requirements: Details of required reports, frequency, and content
5. Schedule E - Risk Disclosure Statement: Detailed risk disclosures as required by Philippine regulations
6. Appendix 1 - KYC Documentation: Required Know Your Client documentation and forms
7. Appendix 2 - Investment Policy Statement: Detailed statement of investment policies and objectives
8. Appendix 3 - Power of Attorney: If required, formal authorization for asset manager to act on client's behalf
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Insurance
Private Equity
Real Estate
Corporate Services
Family Office Services
Fund Management
Pension Fund Management
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Relations
Operations
Treasury
Portfolio Administration
Due Diligence
Investment Analysis
Wealth Management
Corporate Advisory
Relevant Roles
Asset Manager
Investment Director
Portfolio Manager
Compliance Officer
Legal Counsel
Risk Manager
Chief Investment Officer
Wealth Manager
Client Relationship Manager
Investment Advisor
Fund Manager
Treasury Manager
Chief Financial Officer
Investment Analyst
Due Diligence Officer
Operations Manager
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